Marketing Compliance Analyst

Purpose of the position

We are looking for a Marketing Compliance Analyst to review and approve all public communications, including, but not limited to, marketing materials, press releases, fact sheets, requests for proposals, due diligence inquiries, website content, and electronic communications.

Specific responsibilities

• Coordinate with various teams, including Investment Management Compliance, Marketing, Investment, and all relevant business units, to review and approve all internal and external communications in a timely manner
• Ensure that all communications comply with applicable regulatory guidelines, including those of the SEC, FINRA, NFA, CFTC, and/or other applicable regulations
• Support in preparing appropriate disclosures
• Assistance with the development, monitoring, and ongoing maintenance of marketing materials, updating guidelines and procedures, and conducting periodic training sessions for staff
• Maintaining records of all approved materials in accordance with SEC and FINRA record-keeping rules and internal policies and procedures
• Closer collaboration with the compliance team and support for other compliance-related functions and ad hoc requests
• Support in identifying, analyzing, implementing, and monitoring regulatory initiatives related to marketing, sales, and marketing
• Support in developing policies and guidelines to ensure that the company has the necessary tools to create compliant marketing materials

Key competencies

• 2+ years of experience in marketing compliance at an asset management firm
• Current Series 7 and 63 licenses (or must be obtained within 90 days)
• Knowledge of the rules and requirements of the Investment Advisers Act of 1940 with regard to marketing and advertising
• Knowledge of the rules and requirements of FINRA and the Securities Act of 1934 regarding public advertising
• Strong knowledge of FINRA rules
• Self-motivated with strong organizational, writing, and communication skills
• Ability to work in a busy environment and multitask, both independently and as part of a team

Compensation and Benefits

The expected base salary range for this position is $110,000–$140,000. The compensation package also includes a discretionary bonus. The company reserves the right to change this salary range at any time.

Inclusion, work-life balance and benefits at Man Group

You have chosen a career with a purpose. You will be part of a workforce where inclusion is fundamental and deeply rooted in our culture and values. You’ll have the opportunity to contribute to success by joining a workplace where integrity, quality, professionalism, and teamwork are of the utmost importance—and where you’ll have the freedom to grow, develop your talents, and foster an inclusive environment for everyone in the company and across the industry. Our comprehensive benefits include competitive vacation time, retirement/401(k) benefits, life and long-term